- Enhanced Due Diligence (30)
- World-Check (30)
- World-Check One (27)
- Screening Resolution Service (26)
- Country Risk Ranking (24)
- Transaction Monitoring (20)
- Client Onboarding (18)
- Org ID (17)
- Enterprise Risk Manager (12)
- AutoAudit (8)
- Compliance Learning (5)
- Compliance Manager (5)
- Thomson Reuters Reference Data (5)
- Conflicts Compliance (2)
- Regulatory Intelligence (1)
While much of Best Execution mandate has been in place since 2007, when it was introduced by MiFID I, this time around the effect of the legislation is expected to bite much deeper and more broadly.
When making strategic decisions about the allocation of often limited resources, boards and senior managers must consider multiple corporate objectives as well as the portfolio of investment opportunities available. Enterprise Risk and the firm’s risk appetite are also key considerations.
This whitepaper explores the challenges that both organizations and regulators have faced in creating a framework to improve behavior and reduce conduct risk at financial services organizations. It also looks ahead to try and predict some important trends that are emerging around attempts by...
Avoiding the knowledge gap with microlearning: The importance of relevant & repetitive compliance training
Regulatory changes in recent years have led to increasing pressures on companies to ensure they are facilitating and managing the right compliance training program for their employees.
This whitepaper focuses on how insurance regulators are implementing Own Risk and Solvency Assessment (ORSA) frameworks around the world. Review ORSA framework information for 13 jurisdictions and read about the latest changes to ORSA regulatory regimes.
As part of their Know Your Customer (KYC) due diligence process, banks and financial institutions (FIs) have a legal obligation to create and maintain a complete and accurate identity profile for each client with whom they do business.
Examine the growing problem of illegal logging and what red flags organizations need to look out for to prevent tainted timber from entering their supply chains.
The Shadow Banking sector in China is both a welcome sign of that country’s growing financial development and sophistication, and a source of potential risk for organizations. Over the past few years, shadow banking has boomed – but what might be the impact on the global economy and your...
This white paper sets the scene by introducing the Advanced Measurement Approach (AMA), as used by firms and sometimes recognized by regulators for determining regulatory capital for operational risk. The first in a series of five papers, the topics of the other four papers will focus on...
Compliance with the Solvency II regulation requires insurers to review their data governance, sourcing and management processes.